Close Menu
Free Consultation: 888-976-6111

Eric Kubiak: FINRA Sanctions Ameriprise Advisor

Former Cheektowaga, New York financial advisor Eric Kubiak (CRD# 4637674) was recently sanctioned and barred in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Ameriprise Financial Services.

Mr. Kubiak’s BrokerCheck report discloses the FINRA sanction against him. Filed in December 2023, it alleged that when FINRA requested documents and information as part of an investigation, he refused to provide such. The investigation specifically concerned “his potential involvement with undisclosed OBAs, including those potentially related to crypto assets.” Although he gave FINRA “a partial but in complete response,” the disclosure states, his response “did not substantially comply with its request,” and he failed to provide the regulators with material documents and information.

“Ultimately, Kubiak refused to produce the outstanding information and documents requested,” FINRA found. “Kubiak was unwilling to produce the outstanding information and documents requested based on an assertion of confidentiality.” In connection with these findings, FINRA permanently barred him from registering with any FINRA member firm in any capacity.

A second disclosure on Mr. Kubiak’s BrokerCheck report concerns his resignation from Ameriprise Financial Services. Filed in March 2023, it states that he was “permitted to resign” after he was suspended “while under review relative to a potential undisclosed Outside Business Activity.”

According to the Financial Industry Regulatory Authority, Eric Kubiak holds 14 years of securities industry experience. He was most recently registered as a broker and an investment advisor with Ameriprise Financial Services in Cheektowaga, New York from 2008 until 2023. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is currently barred from acting as a broker or otherwise associating with any broker-dealer firm. (Information current as of January 18, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Dick Hagan: $400K Complaint Against MassMutual Advisor

    Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial...

    Read More
  • Tom Ley: Wells Fargo Advisor Faces Investor Complaint

    Toms River, New Jersey financial advisor Tom Ley (CRD# 1127048) recently received an investor complaint alleging that his conduct resulted...

    Read More
  • Steve Nielsen: Bond Complaints Against Centaurus Advisor

    Recent investor complaints against Gilbert, Arizona financial advisor Steve Nielsen (CRD# 4184826) allege that he recommended unsuitable, high-risk investments. Financial...

    Read More
  • Sam Prapaniku: $115K Complaint Against Ex-Bancorp Advisor

    Costa Mesa, California financial advisor Sam Prapaniku (CRD# 5499421) recently received an investor complaint alleging that he recommended unsuitable investments....

    Read More
  • Previous
  • Next